Wells Fargo Senior Lead Compliance Officer 

United States, North Carolina, Charlotte 

263710421

In this role, you will:

• Provide Independent Risk Management coverage of FINRA licensed bankers in Commercial Banking

• Liaise with Corporate and Investment Banking partners to ensure a consistent securities Compliance program across coverage areas

• Oversee, advise and provide independent credible challenge on the front line's compliance-related decisions

• Identify and recommend opportunities for process improvements and risk control development

• Provide leadership in Compliance oversight of the Risk and Control Self-Assessment (RCSA) program for securities risk

• Oversee the application of financial services regulations and policies to a broad range of activities at the Firm

• Provide Compliance coverage with respect to the securities program, including advisory on material non-public information (MNPI) issues as they directly relate to the Commercial Banking business strategy (i.e., reviewing documentation, chaperoning calls and advising on barriers)

• Conduct training for groups or employees related to securities coverage as appropriate

• Develop, implement, monitor and report on front line securities activities to identify, assess and mitigate any non-compliance with federal, state or agency law

• Work with complex business units, rules and regulations on moderate to high-risk compliance matters

• Provide direction to the business on developing corrective action plans and effectively managing regulatory change

• Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines

• Identify and recommend opportunities for process improvement and risk control development

• Make decisions and resolve issues to meet business objectives

• Interpret policies, procedures, and compliance requirements

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics

Required Qualifications:

• 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Expert knowledge and understanding of FINRA, SEC, FRB, OCC rules governing broker dealer and municipal advisor activity

• Knowledge and understanding of securities regulatory compliance, risk management, risk standards and controls

• Excellent verbal and written communication skills with the ability to effectively communicate guidance to all levels of bankers, from senior management to junior bankers

• Demonstrated ability to influence, partner, and negotiate with multiple stakeholders to gain commitment and accomplish goals in a fast-paced environment

• Excellent analytical skills with great attention to detail and accuracy

• Experience conducting regulatory compliance surveillance

Job Expectations:

• Ability to travel up to 5% of the time

• This position offers a hybrid work schedule

• This position is not eligible for VISA sponsorship

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

11 May 2024